Created operations and compliance framework for Fin-Tech start up as well as financial models. Experience with Private Equity investors and structures.

Managed all aspects of timeline, process and technology evaluation for Advisor transitions from BD and Advisory firms to independent RIA’s and hybrids. Preparation of financial projection models for Advisors looking to go independent.

Board member of Credit Suisse hedge fund.

Implemented Reg NMS and Reg SHO rules at broker-dealer and defined best execution review policies for large and medium sized broker-dealers. Understanding of MiFID rules and CAT transition.

Defined and communicated “tone at the top” compliance policies for major international Investment Bank, and multi advisor financial advisory firm.

Experienced in defining and implementing new business/product requirements and compliance policies for many trading and derivatives desks and advisory businesses in the US as well as the UK, Europe, Latin America, Japan and HK.

Created Equity Trading desk in Mexico, set up a new UK and European retail Listed Derivatives desk, created a Tokyo Listed Derivatives Desk, set up several multi-product proprietary trading desks.

Prepared Divisional risk assessments and ongoing risk monitoring during implementation of new Basel risk capital requirements. Also performed evaluation of conflicts within business lines.

Familiar with legal entity, capital and credit issues of OTC and listed derivatives.

Defined systems and operational requirements to meet regulatory guidelines at both broker-dealers and Registered Investment Advisors.

Designed the user experience and defined platform technology components for a Financial Planning and investment platform to support financial advisors and clients.

Led business efficiency evaluations and process improvement programs across several mature businesses.

Defined factors that impacted business profitability in Equity Trading as the industry moved to lower cost automated trading; trade execution costs and routing decisions, client profitability, and unbundling of research.